U.S. patent application number 10/490200 was filed with the patent office on 2004-12-02 for export license determination system.
Invention is credited to Dittrich, Andreas, Trostel, Martin, Zinssmeister, Gabriele.
Application Number | 20040243516 10/490200 |
Document ID | / |
Family ID | 33452520 |
Filed Date | 2004-12-02 |
United States Patent
Application |
20040243516 |
Kind Code |
A1 |
Zinssmeister, Gabriele ; et
al. |
December 2, 2004 |
Export license determination system
Abstract
A system includes a server for receiving license determination
requests and providing export license determinations in response to
the requests. Other aspects and advantages of the present invention
will become apparent from the following detailed description, taken
in conjunction with the accompanying drawings, illustrating by way
of example the principles of the present invention.
Inventors: |
Zinssmeister, Gabriele;
(Tuebingen, DE) ; Dittrich, Andreas; (Schoenbuch,
DE) ; Trostel, Martin; (Philosophenweg, DE) |
Correspondence
Address: |
HEWLETT PACKARD COMPANY
P O BOX 272400, 3404 E. HARMONY ROAD
INTELLECTUAL PROPERTY ADMINISTRATION
FORT COLLINS
CO
80527-2400
US
|
Family ID: |
33452520 |
Appl. No.: |
10/490200 |
Filed: |
July 23, 2004 |
PCT Filed: |
October 1, 2001 |
PCT NO: |
PCT/US01/30746 |
Current U.S.
Class: |
705/59 |
Current CPC
Class: |
G06Q 10/10 20130101 |
Class at
Publication: |
705/059 |
International
Class: |
G06F 017/60 |
Claims
What is claimed is:
1. A system comprising a server for receiving license determination
requests and providing export license determinations in response to
the requests.
2. The system of claim 1, wherein the server includes a web-based
interface for receiving the requests and providing the
determinations.
3. The system of claim 1, further comprising at least one table;
wherein the server provides an engine for using the table to make
export license determinations.
4. The system of claim 3, wherein at least one table is a license
determination table, the license determination table including
cells organized according to country group and classification
group, the engine using the license determination table to make the
license determinations.
5. The system of claim 4, wherein the requests include destination
country; wherein the server further provides a table for listing
the country groups; and wherein the engine accesses the country
group table to determine the group for a destination country.
6. The system of claim 4, wherein the request includes a product
identification, and wherein the engine uses the identification to
determine the classification group.
7. The system of claim 3, wherein at least one table is a license
portfolio table for storing electronic versions of export licenses,
the license portfolio table being accessible to the engine.
8. The system of claim 1, wherein the system is an enterprise
system including the server.
9. The system of claim 1, wherein the license determination is
event-driven.
10. The system of claim 1, further comprising a transaction data
database for maintaining details of pending transactions.
11. The system of claim 1, further comprising an audit trail
database for storing details of transaction that have been
shipped.
12. The system of claim 1, further comprising a work buffer for
maintaining details of pending transactions that need further
attention.
13. The system of claim 1, wherein the server re-evaluates license
determinations in response to certain events.
14. The system of claim 13, wherein the server re-evaluates a
pending transaction that has been changed.
15. The system of claim 13, wherein the server re-evaluates all
pending transactions in response to a legal event.
16. The system of claim 13, wherein the server performs clearance
checks.
17. A server comprising an interface for receiving license
determination requests; and a table-driven engine for providing
export license determinations in response to the requests.
18. The server of claim 17, wherein the engine accesses a license
determination table to make the license determinations.
19. The server of claim 17, wherein the engine stores details of
pending transactions in a transaction data database.
20. The server of claim 17, wherein the engine stores details of
pending transactions that need further attention in a work
buffer.
21. The server of claim 17, wherein license determinations are
re-evaluated in response to certain events.
Description
BACKGROUND OF THE INVENTION
[0001] Many countries issue regulations on international trade. For
instance, the United States issues Export Administration
Regulations (EAR) relating to the control of certain exports,
re-exports, and activities. The export-control provisions of the
EAR are intended to serve national security, foreign policy,
nonproliferation, and short supply interests of the United States
and, in some cases, to carry out its international obligations.
Some controls are designed to restrict access to dual use items by
countries or persons that might apply such items to uses inimical
to U.S. interests. These include controls designed to stem the
proliferation of weapons of mass destruction and controls de-signed
to limit the military and terrorism support capability of certain
countries. The effectiveness of many of the controls under the EAR
is enhanced by their being maintained as part of multilateral
control arrangements. Multilateral export control cooperation is
sought through arrangements such as the Nuclear Suppliers Group,
the Australia Group, and the Missile Technology Control Regime. The
EAR also include some export controls to protect the United States
from the adverse impact of the unrestricted export of commodities
in short supply.
[0002] The EAR may require a license to a country if a product is
listed on the Commerce Control List (CCL) and if a Country Chart
(specified in the EAR) indicates that a license is required to that
country. Virtually all Export Con-trol Classification Numbers
(ECCN) on the CCL are covered by the Country Chart. These ECCNs
state the specific countries that require a license.
[0003] Large companies usually maintain staffs of administrators to
ensure compliance with export control laws. Before a product can be
exported, an administrator must determine whether an export license
is needed, whether one is already in place, whether additional
assurances are needed, whether the export is prohibited, etc.
Maling this determination is slow and manually intensive,
especially for a company that sells a large number and variety of
products to many different countries. Not only does this
determination involve U.S. laws, but it usually involves local
exporting country laws as well.
SUMMARY OF THE INVENTION
[0004] A system includes a server for receiving license
determination requests and providing export license determinations
in response to the requests. Other aspects and advantages of the
present invention will become apparent from the following detailed
description, taken in conjunction with the accompanying drawings,
illustrating by way of example the principles of the present
invention.
BRIEF DESCRIPTION OF THE DRAWINGS
[0005] FIG. 1 is an illustration of an export license determination
server.
[0006] FIG. 2 is an illustration of events and corresponding
responses by the server.
[0007] FIG. 3 is an illustration of an exemplary license
determination table for the server.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
[0008] As shown in the drawings for the purpose of illustration,
the present invention is embodied in a server for making export
license determinations. The server receives information about a
pending transaction and determines the transaction is covered by an
existing license, whether an export license is needed, or whether
other manual work is needed for the transactions. The export
license determination is computerized; therefore, the amount of
work (especially redundant work) for export administration
personnel is mimmized. The server can be on-line 24 hours a day,
seven days a week; therefore, export license determinations can be
made at any time. The server may offer broad connectivity to
multiple client platforms by a web-based, standard interface. The
server may include an engine that is table-driven. Making the
engine table-driven reduces the amount of hard-coded logic, and
simplifies maintenance of the data used for making export license
determinations. Tables used by the engine may be centralized.
Centralized tables should lead to license determinations that are
consistent.
[0009] Reference is made to FIG. 1, which illustrates an export
license determination server 10. The server 10 includes a network
interface 12 that is connected to a network 14. There is no
limitation as to the type of network 14. For example, the network
14 can be a corporate intranet or the Internet.
[0010] The server 10 provides an export license determination
engine 16, a license determination table 18, a license portfolio
table 20, and a country group table 22. The network interface 12
receives information about pending transactions via the network 14,
and passes the information to the engine 16. The engine 16 uses the
tables 18, 20 and 22 to make an export license determination with
respect to the transaction.
[0011] The pending transaction might be the sale of a product to a
destination country. The transaction information may include a
destination country. The server 10 uses the country group table 22
to determine a country group for the destination country. A country
group may include one or more countries.
[0012] The transaction information may also include either a
product classification group or a product identifier (which allows
the classification group to be ascertained). The classification
group may be supplied directly to the server 10. In the alternative
the server 10 may send a product identifier to another program,
which ascertains the classification group. One such program is
disclosed in U.S. Serial No. ______ filed concurrently herewith
(Attorney Docket No. 10012302-1). A classification group may be an
ECCN or any other designation.
[0013] The license determination table 18 includes a series of
cells. Each cell indicates a license determination for a particular
country group and classification group. A license determination
might indicate that a license is not needed, a license is needed
but is already in place, manual work is needed (e.g., a license is
needed and must be executed, additional assurances are needed to
comply with controlling export laws), a transaction is not allowed,
etc.
[0014] If the license determination indicates that no manual work
is needed (that is, the transaction complies with all export
regulations), details of the transaction may be stored in a
transaction data database 26. If the license determination
indicates that further work is needed, details of the transaction
may be stored in a work buffer 24. The transaction may remain in
the work buffer 24 until another event occurs. As a first example,
the transaction may remain in the work buffer 24 until additional
manual work brings the transaction into compliance with all export
regulations (e.g., an export license is executed). Once the
transaction is brought into compliance, it is moved from the work
buffer 24 to the transaction data database 26. As a second example,
the transaction is deleted from the work buffer 24 if the
transaction is cancelled.
[0015] The license determination table 18 may be generated by a
select group of export administration personnel, and it may be
stored in a central location, so that only one table is used by the
export license determination engine 16. Centralized decision-making
should lead to consistent determinations. Because the export
license determination engine 16 is table-driven, the license
determinations may be updated (e.g., due to changes in laws,
addition of new licenses, lapsing of old licenses) without
rewriting the engine 16 or the interface 12.
[0016] The license portfolio table 20 stores electronic versions of
export licenses that are referenced by the license determination
table 18.
[0017] There may be one or more license determination tables 18,
and there may be one or more license portfolio tables 20. There may
be different tables 18 and 20 for different exporting
countries.
[0018] The server 10 may be implemented in any number of ways. For
example, the server 10 may be a part of a larger enterprise system,
which includes network-attached storage (NAS) devices or other
storage machines. The license determination table 18, the license
portfolio table 20 and the country group table 22 (as well as the
work buffer 24, the transaction data database 26 and an audit trail
database 32 mentioned below) may be stored in the NAS devices or
the other storage machines. The server 10 may be a single computer
or it may be run as a distributed logic/data system having several
computers.
[0019] Other transaction information supplied to the server 10
might include ship-to-address, ship-from-address, contract party,
and deliver-to-address. This information may be used for audit and
legal reporting purposes. This information also facilitates manual
follow-ups whenever necessary (as in the case of individual
validated licenses).
[0020] The transaction information may be supplied by any client
28, 30 that can connect to the server 10. The clients may be
personal computers and workstations that are connected to the
server 10 via the network 14. Certain clients could include calling
applications 28 (e.g., other software applications that make
requests for license determinations). In the alternative, calling
applications may be integrated with the server 10.
[0021] Clients could include web browsers 30 that allow individuals
to request license determinations. For example, the interface 12
may include XML files that are downloaded and displayed by the web
browsers 30. The XML files would allow the web browsers 30 to enter
the transaction information. The web browsers 30 may also display
the license determinations and licenses stored in the license
portfolio table 20.
[0022] The web browser 30 also allows export administration
personnel to access the server 10. Certain export administration
personnel may be authorized to update the tables 18-22. Others
personnel may be authorized to check their portion of the work
buffer 24 to determine which transactions need manual
attention.
[0023] The server 10 may perform functions other than making
license determinations. When a transaction is shipped, details of
the transaction may be moved from the transaction date database 26
to the audit trail database 32.
[0024] The server 10 offers broad connectivity to multiple client
platforms by web-based, standard interface. If the server 10 is
on-line 24 hours a day, license determinations and related services
may be requested at any time.
[0025] FIG. 2 shows a number of events, and actions taken by the
server 10 in response to the events. The events include (1) quote,
(2) order entry, (3) change order, (4) cancel order, (5)
pre-shipment, (6) shipment, (7) backlog check, (8) manual release,
and (9) legal update. The first six events are initiated by calling
applications. When a quote or order entry is placed, a calling
application supplies transaction data to the server 10. In
response, the server 10 makes an export license determination and
notifies the calling application of the license determination. If
"hold" is the export license determination, details of the order
are stored in the work buffer 24. If "okay" is the determination
the details of the order are placed in the transaction data
database 26.
[0026] Shortly before an order is shipped, a calling application
requests the server 10 to perform a clearance check, to ensure that
the order still complies with export regulations. The server 10,
which already has the transaction data, returns a license
determination. If "okay" is the determination, the shipment is
allowed to proceed.
[0027] When the order is shipped, a calling application informs the
server of this event, and the server 10 returns a status to the
calling application. The server 10 also causes the details of the
order to be moved from the transaction date database 26 to the
audit trail database 32.
[0028] Usually an order is not shipped immediately after it is
placed. Time will elapse. During that time, the order might be
changed, or it might be cancelled. If the order is cancelled, a
calling application informs the server 10 of this event. In
response, the server 10 permanently removes the transaction details
of the cancelled order from the work buffer 24 or the transaction
data database 26. The server 10 also informs the calling
application of the actions taken (status).
[0029] If the order is changed, a calling application informs the
server 10 of this event. In response, the server 10 re-evaluates
the order for compliance with export regulations. That is, an
export license determination is performed on the changed order. The
server 10 also informs the calling application of the actions
taken.
[0030] The seventh event, the backlog check, is internal to the
server 10. The server 10 may schedule the backlog check
periodically (e.g., once a day). During a backlog check, export
license determinations for all transactions in the work buffer 24
and the transaction data database 26 are performed. Instead of
waiting for the backlog check to be performed at its scheduled
time, the backlog may be checked immediately by initiating a manual
release (the eighth event).
[0031] The eighth and ninth events (legal update) are initiated by
a user such as an export administrator. If an export regulation is
changed, the user causes the server 10 to perform an export license
determination on each order in the work buffer 24 and the
transaction data database 26. A legal update would occur, for
example, if a country is moved to a list of embargoed countries.
For any pending transactions concerning the newly embargoed
country, transaction details would be moved from the transaction
data database 26 to the work buffer 24.
[0032] FIG. 3 shows one way in which the license determination
table 18 may be organized: as a matrix 110. Country groups extend
along one axis, and the classification groups extend along the
other axis. Each cell 112 of the matrix 110 contains license
information. Each row corresponds to a single country group and
contains different license determinations for different
classification groups. For example, one row might correspond to a
group of embargoed countries. Each column corresponds to a single
classification group and contains different license determinations
for different country groups.
[0033] For example, one cell 112 might indicate that a license is
not needed for the corresponding country group and classification.
The license determination for that country group would be "NLR" (no
license required).
[0034] Another cell 112 might indicate that a license is already in
place for a given country group and classification group. The
server 10 will then check the license portfolio table 20 to
determine whether an actual license is available and its parameters
match the given transactions. If the parameters match, the license
determination for that country group and classification will be
"okay." If there is no match, the license determination for that
country group and classification will be "hold" and the transaction
will be placed in the work buffer 24 until further action is taken
(e.g. applying for and adding the actual license into the license
portfolio table 20).
[0035] Another cell 112 might indicate that a license is in place,
but the product could be used for military as well as civilian
purposes. The license determination for that country and product
would be "hold," and the transaction would be placed in the work
buffer 24 until further action was taken (e.g., ensuring that the
product would be used for civilian use only). It might also
indicate the country in which the additional work is needed.
[0036] The matrix 110 shown in FIG. 3 contains thirty cells 112. In
practice, any number of cells 112 may be used.
[0037] Although a specific embodiment of the present invention has
been described and illustrated, the present invention is not
limited to the specific forms or arrangements of parts so described
and illustrated. Instead, the present invention is construed
according to the claims that follow.
* * * * *